Forms

In August 2024, Respondent filed 18 Forms 13F, which covered the period from the quarter ending December 31, 2019, to the quarter ending March 31, ...

Because the Respondent met the definition of “large trader,” Respondent was obligated to file an initial Form 13H with the Commission promptly after qualifying

These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public

Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers

This is the SEC's final rule change to N-PORT reporting rules

You have until Aug. 22 to share your comments on FinCEN's form for certain firms to report their beneficial owners

These are the instructions for filling out the Form ADV, Part 1a

It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue

The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...

This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers. Do not use ...